Associate General Counsel – Dispute Resolution, Recruiting & Special Legal Matters

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning 90 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.

Function: 
Serve as an in-house legal counsel to ensure the Companies’ business affairs are conducted ethically, responsibly and in adherence with all applicable laws, rules and regulations. Provide professional legal counsel and representation for complex legal affairs and proceedings for the Firm. The position responds to complex requests for legal advice from Firm personnel and recommends and assists in the development of policies and procedures based on legal opinion. In addition, the position reviews, develops and negotiates complex legal documents. The position is challenged to remain current on industry and broker-dealer and registered investment advisor legal issues in a dynamic, ever changing work environment. The position is also responsible for supervising the Associate General Counsel – Employment and Employee Benefits.
Qualifications:
•    Law degree with a license to practice in one or more states.
•    Ethical, reliable and responsible.
•    Familiar with the operations of a financial services business, including broker/dealer, registered investment adviser and trust company services
•    Current and broad knowledge of corporate law, including securities, investment advisory and department of labor rules and regulations (e.g., SEC, FINRA, MSRB and state regulations).
•    Experience...